Finding the Facts - Disciplinary and Harassment Investigation

B. B ACKGROUND D OCUMENTS At the beginning of the investigation, the investigator should gather and review all relevant documents. The investigator should also keep a list of all of the documents he/she reviews. This list should be updated and kept in the binder, along with a copy of the documents. Relevant documents may include:



The complaint,

 Memoranda or notes of the complaint or alleged incident of harassment,

 The district’s Anti- Discrimination, Harassment, and Retaliation, Policy, Complaint, and Investigation Procedure or other relevant policy, and



Any other relevant district rules.

1. P ERSONNEL F ILES Documents in employees’ personnel files are another source of information the investigator may want to review as a part of the investigation. Information contained in personnel files, such as performance evaluations and disciplinary records, may assist the investigator in resolving issues of credibility. For example, if an employee has been previously disciplined or counseled regarding an incident reflecting the employee’s trustworthiness, his/her credibility in the investigation may be questionable. It is not necessarily appropriate, however, for the investigator to review personnel files at the outset of the investigation or at another time during the investigation. Remember, the investigator should not have any preconceived judgments or opinions about the allegations or persons involved. If the investigator learns about prior complaints made by the complainant or against the alleged harasser, or of prior discipline against the alleged harasser, it may affect his/her ability to remain impartial. Therefore, the investigator should only review personnel files if and when it becomes necessary, such as in making credibility determinations or, in the event he/she is called upon to do so, recommending the level of disciplinary action, if any, to impose. Do not forget, however, the employees' right to privacy! Investigators should not be allowed to peruse employees’ entire personnel files at will. Unless the investigator is the custodian of the personnel files, the investigator should only have access to relevant information in employees’ personnel files on a need-to-know basis. Also, there are special requirements for accessing police personnel files. 2. P RIOR C OMPLAINTS The investigator should also review records of any relevant prior complaints against the alleged perpetrator, and records of prior complaints by the complainant. Other meritorious complaints against the alleged perpetrator could be used to establish a pattern of harassment, whereas, unfounded complaints by the complainant may be indicative of his/her credibility. Prior

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